Stay up-to-date on recent enforcement actions, alerts, and regulatory news.

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Regulatory Notice 21-15 FINRA Reminds Members About Options Account Approval, Supervision and Margin Requirements

Staff Statement on Accounting and Reporting Considerations for Warrants Issued by Special Purpose Acquisition Companies (“SPACs”)

SEC Announces Enforcement Task Force Focused on Climate and ESG Issues

SEC Enforcement: Auditor Charged for Failure to Register with PCAOB and Multiple Audit Failures

Compliance News: What Will the SEC's ESG Enforcement Look Like? Cyber Cases Offer Clues

Compliance News: U.S. SEC is Reviewing SPAC Filings, Wants Clearer Disclosures

Compliance News: We Asked the SEC and Others About the Impact of Standardized ESG Reporting. The Answers Were Complicated.

FINRA Virtual Conference Panel: Lifecycle of a FINRA Investigation

SEC Risk Alert: Compliance Issues Related to Suspicious Activity Monitoring and Reporting at Broker-Dealers

Compliance News: COVID-19 Has 'Exasperated' Bank Compliance Teams, Regulatory Enforcement of AML Compliance Continues Unabated

SEC Enforcement: Edward Gobora Charged with “Cherry Picking” of Short-Term Foreign Exchange Trades, with Profitable Trades Allocated to Favored Clients, and Delaying the Execution and Allocation of Trades

SEC Enforcement: Carol Wayland Barred from Association with any Investment Adviser in Connection with the Sale of Limited Partnership Interests, Misappropriation of Investor Funds

Notice: Request for Information and Comment on Financial Institutions' Use of Artificial Intelligence, Including Machine Learning in Connection with Governance, Risk Management, and Controls

FINRA Disciplinary Proceeding: False Testimony During an On-The-Record Interview, in Violation of FINRA Rules 8210 and 2010, Mancuso is Barred From Associating With any FINRA Member Firm

Financial Crimes Enforcement Network (FinCEN) Announces Acting Director and New Deputy Director